grounds that had caused the applicant’s qualifications to be non-compliant with Clause 21(2) are insignificant or a rectification or preventive measures has been adopted, the SEC Office may disregard these

settlement services with respect to derivatives; (2) an event which causes a computer system relating to clearing and settlement services with respect to derivatives to become non-compliant to any law, rules

shall be compliant with the following regulations: (1) an application for approval and an approval of the offer for sale of units of foreign collective investment scheme, and the conditions after approval

operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed

is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance

application for approval shall not have any of the following characteristics unless otherwise in compliant with the requirements under Clause 16: (1) within five years prior to the filing date of the

securities to become non-compliant to any law, rules, regulations, or requirements set out by the Securities and Exchange Commission, the Capital Market Supervisory Board, the SEC Office, or the relevant

Paragraph 1 in support of its consideration of subsequent applications. If the SEC Office considers that the grounds that had caused the applicant’s qualifications to be non-compliant with Clause 16(4) are